Proposed Collection; Comment Request, 62499 [E7-21663]

Download as PDF Federal Register / Vol. 72, No. 213 / Monday, November 5, 2007 / Notices BeaverValleyEIS@nrc.gov, and should be sent no later than January 2, 2008, to be considered in the scoping process. Comments will be available electronically and accessible through ADAMS at http:// adamswebsearch.nrc.gov/dologin.htm. Participation in the scoping process for the supplement to the GEIS does not entitle participants to become parties to the proceeding to which the supplement to the GEIS relates. Notice of opportunity for a hearing regarding the renewal application was the subject of the aforementioned Federal Register notice (72 FR 60916). Matters related to participation in any hearing are outside the scope of matters to be discussed at this public meeting. At the conclusion of the scoping process, the NRC will prepare a concise summary of the determination and conclusions reached; including the significant issues identified, and will send a copy of the summary to each participant in the scoping process. The summary will also be available for inspection in ADAMS at http:// adamswebsearch.nrc.gov/dologin.htm. The staff will then prepare and issue for comment the draft supplement to the GEIS, which will be the subject of a separate notice and separate public meetings. Copies will be available for public inspection at the abovementioned addresses, and one copy per request will be provided free of charge. After receipt and consideration of the comments, the NRC will prepare a final supplement to the GEIS, which will also be available for public inspection. Information about the proposed action, the supplement to the GEIS, and the scoping process may be obtained from Mr. Howard at the aforementioned telephone number or e-mail address. Dated at Rockville, Maryland, this 29th day of October 2007. For the Nuclear Regulatory Commission. Rani Franovich, Branch Chief, Projects Branch 2, Division of License Renewal, Office of Nuclear Reactor Regulation. [FR Doc. E7–21683 Filed 11–2–07; 8:45 am] BILLING CODE 7590–01–P SECURITIES AND EXCHANGE COMMISSION ycherry on PRODPC74 with NOTICES Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. VerDate Aug<31>2005 15:04 Nov 02, 2007 Jkt 214001 Extension: Rule 204A–1, SEC File No. 270–536, OMB Control No. 3235–0596. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission (the ‘‘Commission’’) is soliciting comments on the collections of information summarized below. The Commission plans to submit these existing collections of information to the Office of Management and Budget for extension and approval. The title for the collection of information is ‘‘Rule 204A–1 (17 CFR 275.204A–1) under the Investment Advisers Act of 1940’’ (15 U.S.C. 80b– 1 et seq.). Rule 204A–1, the Code of Ethics Rule, requires investment advisers registered with the Commission to (i) set forth standards of conduct expected of advisory personnel (including compliance with the federal securities laws), (ii) safeguard material nonpublic information about client transactions, and (iii) requires the adviser’s ‘‘access persons’’ to report their personal securities transactions, including transactions in any mutual fund managed by the adviser. The code of ethics also requires access persons to obtain the adviser’s approval before investing in an initial public offering or private placement. The code of ethics also requires prompt reporting, to the adviser’s chief compliance officer or another person designated in the code of ethics, of any violations of the code. Finally, the code of ethics requires the adviser to provide each supervised person with a copy of the code and any amendments, and requires the supervised persons to acknowledge, in writing, their receipt of these copies. The purposes of the information collection requirements are: (i) To ensure that advisers maintain codes of ethics applicable to their supervised persons; (ii) to provide advisers with information about the personal securities transactions of their access persons for purposes of monitoring such transactions; (iii) to provide advisory clients with information with which to evaluate advisers’ codes of ethics; and (iv) to assist the Commission’s examination staff in assessing the adequacy of advisers’ codes of ethics and assessing personal trading activity by advisers’ supervised persons. The respondents to this information collection are investment advisers registered with the Commission. The Commission has estimated that compliance with rule 204A–1 imposes a burden of approximately 117 hours per adviser annually for an estimated total annual burden of 1,265,865 hours. PO 00000 Frm 00072 Fmt 4703 Sfmt 4703 62499 Written comments are invited on: (a) Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency’s estimate of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, c/o Shirley Martinson, 6432 General Green Way, Alexandria, VA 22312 or send an e-mail to: PRA_Mailbox@sec.gov. October 29, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7–21663 Filed 11–2–07; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: U.S. Securities and Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 20549–0213. Extension: Form BD–N/Rule 15b11–1, SEC File No. 270–498, OMB Control No. 3235–0556. Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below. Rule 15b11–1 (17 CFR 240.15b11–1) and Form BD–N (17 CFR 249.501b) serve as the form of notice for futures commission merchants and introducing brokers that register as broker-dealers by notice pursuant to section 15(b)(11)(A) of the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). Specifically, the form requires a broker-dealer registering by notice to indicate whether it is filing a notice registration to conduct a securities business in security futures E:\FR\FM\05NON1.SGM 05NON1

Agencies

[Federal Register Volume 72, Number 213 (Monday, November 5, 2007)]
[Notices]
[Page 62499]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-21663]


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SECURITIES AND EXCHANGE COMMISSION


Proposed Collection; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

Extension:
    Rule 204A-1, SEC File No. 270-536, OMB Control No. 3235-0596.

    Notice is hereby given that pursuant to the Paperwork Reduction Act 
of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission 
(the ``Commission'') is soliciting comments on the collections of 
information summarized below. The Commission plans to submit these 
existing collections of information to the Office of Management and 
Budget for extension and approval.
    The title for the collection of information is ``Rule 204A-1 (17 
CFR 275.204A-1) under the Investment Advisers Act of 1940'' (15 U.S.C. 
80b-1 et seq.). Rule 204A-1, the Code of Ethics Rule, requires 
investment advisers registered with the Commission to (i) set forth 
standards of conduct expected of advisory personnel (including 
compliance with the federal securities laws), (ii) safeguard material 
nonpublic information about client transactions, and (iii) requires the 
adviser's ``access persons'' to report their personal securities 
transactions, including transactions in any mutual fund managed by the 
adviser. The code of ethics also requires access persons to obtain the 
adviser's approval before investing in an initial public offering or 
private placement. The code of ethics also requires prompt reporting, 
to the adviser's chief compliance officer or another person designated 
in the code of ethics, of any violations of the code. Finally, the code 
of ethics requires the adviser to provide each supervised person with a 
copy of the code and any amendments, and requires the supervised 
persons to acknowledge, in writing, their receipt of these copies.
    The purposes of the information collection requirements are: (i) To 
ensure that advisers maintain codes of ethics applicable to their 
supervised persons; (ii) to provide advisers with information about the 
personal securities transactions of their access persons for purposes 
of monitoring such transactions; (iii) to provide advisory clients with 
information with which to evaluate advisers' codes of ethics; and (iv) 
to assist the Commission's examination staff in assessing the adequacy 
of advisers' codes of ethics and assessing personal trading activity by 
advisers' supervised persons.
    The respondents to this information collection are investment 
advisers registered with the Commission. The Commission has estimated 
that compliance with rule 204A-1 imposes a burden of approximately 117 
hours per adviser annually for an estimated total annual burden of 
1,265,865 hours.
    Written comments are invited on: (a) Whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information will 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden of the collection of information; (c) ways to enhance the 
quality, utility, and clarity of the information collected; and (d) 
ways to minimize the burden of the collection of information on 
respondents, including through the use of automated collection 
techniques or other forms of information technology. Consideration will 
be given to comments and suggestions submitted in writing within 60 
days of this publication.
    Please direct your written comments to R. Corey Booth, Director/
Chief Information Officer, Securities and Exchange Commission, c/o 
Shirley Martinson, 6432 General Green Way, Alexandria, VA 22312 or send 
an e-mail to: PRA--Mailbox@sec.gov.

    October 29, 2007.
Florence E. Harmon,
Deputy Secretary.
 [FR Doc. E7-21663 Filed 11-2-07; 8:45 am]
BILLING CODE 8011-01-P